RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
L•••••• D••• C•••
- R•• R•••••••• L•• BD affiliated currentsince Nov 4, 2010 · New York, Ny
- E•••••••• A•••••••• L•• national BDJan 3, 2007 to Feb 1, 2010 · Los Angeles, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedNov 24, 2006 to Dec 18, 2006 · Los Angeles, Ca
- E•••••••• A•••••••• L•• to R•• R•••••••• L••left Feb 1, 2010, registered Nov 4, 2010 (276 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to E•••••••• A•••••••• L••left Dec 18, 2006, registered Jan 3, 2007 (16 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address